Securities & Corporate Governance

Our Securities and Corporate Governance lawyers advise public and private companies and their boards, management and shareholders on all matters relating to federal and state securities regulation, including public offerings and private placements under the Securities Act, stock exchange listings, proxy solicitations, tender and exchange offers, equity compensation plans and disclosure rules and best practices.  

We guide exchange-listed and OTC-traded companies and their directors, officers and significant shareholders in complying with the SEC’s ongoing reporting requirements under the Securities Exchange Act, including rules promulgated under the Sarbanes-Oxley Act, the Dodd-Frank Act and the JOBS Act, and the corporate governance rules of the national stock exchanges.

Our attorneys counsel public and private companies on a broad set of corporate governance matters, including board committee charters, governance guidelines, insider trading policies and codes of ethics, and counsel directors and officers on their fiduciary duties and shareholder relations matters.

We advise private equity sponsors on fund formation and capital raises, including compliance with exemptions from registration under the Investment Company Act and the Investment Advisers Act.

Our attorneys understand that each company is unique and requires tailored policies and procedures to adapt to the changing disclosure and corporate governance regime. We draw on a broad understanding of the current regulatory environment and industry experience to address clients' particular needs.